0000090608-15-000003.txt : 20150303 0000090608-15-000003.hdr.sgml : 20150303 20150303152130 ACCESSION NUMBER: 0000090608-15-000003 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150302 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HERBERT J. SIMS & CO. INC. CENTRAL INDEX KEY: 0000090608 IRS NUMBER: 135213180 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-04545 FILM NUMBER: 15668663 BUSINESS ADDRESS: STREET 1: 2150 POST ROAD STREET 2: SUITE 301 CITY: FAIRFIELD STATE: CT ZIP: 06824 BUSINESS PHONE: 203-418-9030 MAIL ADDRESS: STREET 1: 2150 POST ROAD STREET 2: SUITE 301 CITY: FAIRFIELD STATE: CT ZIP: 06824 FORMER COMPANY: FORMER CONFORMED NAME: SIMS HERBERT J & CO INC DATE OF NAME CHANGE: 20020611 FORMER COMPANY: FORMER CONFORMED NAME: SIMS HERBERT J & CO INC /CT/ /BD DATE OF NAME CHANGE: 19941025 MA-I 1 primary_doc.xml MA-I 0000090608 XXXXXXXX R. Cumiskey 732-590-0531 rcumiskey@hjsims.com ldogery@hjsims.com N N ELIZABETH BARNETT SIMS 050000820 N 1 Herbert J. Sims & Co. 01-15-2015 N 08-29-2014 0000090608 LOCATED 01-15-2015 101 W 6th STREET SUITE 603/604 AUSTIN TX 78701 09-2013 HERBERT J. SIMS & CO. INC. AUSTIN TX 78751 Y Y SALES 07-2012 09-2013 ENTERGY WOODLANDS TX 77381 N Y SENIOR ANALYST 10-2010 07-2012 POWER ANGELS AUSTIN TX 73301 N N UNPAID INTERN 08-2006 10-2010 JP MORGAN CHASE BANK NEW YORK NY 10001 N Y REGISTERED REP 07-2005 08-2006 GOLDMAN SACHS & COMPANY NEW YORK NY 10001 N Y ANALYST WITHIN COMMODITY OPERATIONS 09-2004 07-2005 YALE UNIVERSITY ART GALLERY - FURNITURE DEPARTMENT NEW HAVEN CT 06501 N N STUDENT WORKER 09-2001 09-2004 FULL TIME EDUCATION-YALE UNIVERSITY NEW HAVEN CT 06501 N N STUDENT N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 02-27-2015 Richard Cumiskey CCO